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Compliance Executive - up to £40K

My Client is looking for a Compliance Executive with 3 years experience within Compliance.


The Role


The purpose of the role is compliance monitoring and policy work. Tasks will be assigned as needed on a day-to-day basis and may include:


Running a variety of tasks as part of the completion of the Compliance Monitoring Plan

AML, market abuse and Call monitoring

Order sourcing (calls, messenger, email, Bloomberg)

KYC reviews

Fraud identification, analysis and reporting

Financial Promotions review

Complaint handling

Assist in any other ad-hoc projects as required.

Undertake various core compliance processes including: regulatory liaison, reporting, registrations, licensing, gifts & entertainment, employee trading, conflicts, projects and breaches.

Assist with writing up new and updating existing compliance-related policies and procedures.

Assist in any other ad-hoc projects as required.



The Person


The candidate will have at least 3 years Compliance and Financial Crime experience within the Financial sector ideally in a trading or brokerage environment and/or have dealt with Know Your Client (KYC also known as ‘customer due diligence’), Anti-Money Laundering (AML) activities and Fraud related issues. Knowledge of the FCA handbook and, in particular, COBS, SYSC, SUP and DISP is required


Whilst we are open minded about educational qualifications, a degree or equivalent in a law or business related field, would be our preference.


This position is most likely to suit a candidate who is used to working within an unstructured entrepreneurial environment (e.g. a small to medium enterprise or a start-up). The successful candidate must be able to demonstrate an ability to use his/her initiative to problem solve with the minimum of day-to-day supervision.



Essential Skills and Abilities



Proficiency with Microsoft Excel (intermediate to advance standard) and Word

Clear and concise communication skills

Able to remain focussed on the task and not easily distracted

Observant and accurate

Able to work consistently and adjust the pace of work in line with demands and deadlines.


Preference will be given to candidates with previous experience with KYC, AML and fraud prevention/monitoring systems.


Posted: 31/08/2017